Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
DU PASQUIER + CO. INC.
24750
NOVAFUND ADVISORS
NONE
DU PASQUIER + CO., INC.
24750
N/A
NONE
NONE
NONE
DU PASQUIER + CO., INC.
24750
NONE
NONE
DU PASQUIER + CO., INC.
24750
DUPASQUIER + CO., INC.
24750
NOVAFUND ADVISORS
NONE
DUPASQUIER + CO., INC.
24750
NOVAFUNDADVISORS
NONE
NONE
NONE
DU PASQUIER + CO. INC.
24750
DU PASQUIER + CO., INC.
24750
DU PASQUIER + CO., INC.
24750
NONE
NONE
NOVAFUND ADVISORS, A DIVISION OF DU PASQUIER + CO., INC.
24750
DU PASQUIER + CO., INC.
24750
JUDITH FEDER
1477830
DU PASQUIER + CO., INC.
24750
KEVIN J. ERNST
2006727
NONE
NONE
DU PASQIUER + CO., INC.
24750
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$3,073.00
Yes
$0.00
No
THE SALES COMMISSIONS REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$831,828.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$1,596,780.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDESSESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$232,456.00
Yes
$0.00
No
REFLECTS COMMISSIONS PAID AND CORRECTS PREVIOUS STATED ESTIMATED FIGURES.
D/A
$830,173.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$1,596,780.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDESSESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$3,073.00
Yes
$0.00
No
THE SALES COMMISSIONS REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$431,000.00
Yes
$0.00
No
ISSUER PAID NOVAFUND A TOTAL RETAINER OF $96,000. ISSUER WILL ALSO PAY NOVAFUND, TRINITY, PICTON AND A+G COMMISSION BASED ON THE COMMITMENTS INTRODUCED BY EACH PARTY.
D/A
$431,000.00
Yes
$0.00
No
ISSUER PAID NOVAFUND A TOTAL RETAINER OF $96,000. ISSUER WILL ALSO PAY NOVAFUND, TRINITY, PICTON AND A+G COMMISSION BASED ON THE COMMITMENTS INTRODUCED BY EACH PARTY.
D/A
$202,734.00
Yes
$0.00
No
REFLECTS COMMISSIONS PAID AND CORRECTS PREVIOUS STATED ESTIMATED FIGURES.
D/A
$1,596,780.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDESSESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$3,073.00
Yes
$0.00
No
THE SALES COMMISSIONS REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$830,173.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$81,125.00
No
$0.00
No
THE PLACEMENT AGENT RECEIVED 50% OF THE MANAGEMENT FEE EARNED BY THE MANAGER IN THIS OFFERING WHICH IS EQUAL TO 1% OF THE GROSS AMOUNT OF INTERESTS ISSUED IN THIS OFFERING.
D
$272,000.00
No
$0.00
No
THE COMPANY ALSO ISSUED WARRANTS TO PURCHASE AN AGGREGATE OF 1,211,636 SHARES OF ITS COMMON STOCK AT AN EXERCISE PRICE OF $0.26 PER SHARE AS ADDITIONAL COMPENSATION.
D
$500,000.00
Yes
$0.00
No
THE PLACEMENT AGENT WILL RECEIVE 50% OF THE MANAGEMENT FEE EARNED BY THE MANAGER IN THIS OFFERING WHICH IS EQUAL TO 1% OF THE GROSS AMOUNT OF INTERESTS ISSUED IN THIS OFFERING.
D
$500,000.00
Yes
$0.00
No
THE PLACEMENT AGENT WILL RECEIVE 50% OF THE MANAGEMENT FEE EARNED BY THE MANAGER IN THIS OFFERING, WHICH IS EQUAL TO 1% OF THE GROSS AMOUNT OF INTERESTS ISSUED IN THIS OFFERING.
D/A
$146,000.00
Yes
$0.00
No
FUNDS PLACEMENT GROUP WAS PAID FEES OF $50,000. FPG SHALL RECEIVE A PERCENTAGE OF IDENTIFIED CAPITAL. ISSUER WILL PAY NOVAFUND A FEE OF $8,000 PER MONTH FOR 12 MONTHS. ISSUER WILL ALSO PAY NF COMMISSION BASED ON THE COMMITMENTS INTRODUCED BY NOVAFUND.
D/A
$146,000.00
Yes
$0.00
No
FUNDS PLACEMENT GROUP WAS PAID FEES OF $50,000. FPG SHALL RECEIVE A PERCENTAGE OF IDENTIFIED CAPITAL. ISSUER WILL PAY NOVAFUND A FEE OF $8,000 PER MONTH FOR 12 MONTHS. ISSUER WILL ALSO PAY NF COMMISSION BASED ON THE COMMITMENTS INTRODUCED BY NOVAFUND.
D/A
$36,571.00
Yes
$0.00
No
REFLECTS COMMISSIONS PAID AND CORRECTS PREVIOUS STATED ESTIMATED FIGURES.
D/A
$151,183.00
Yes
$0.00
No
REFLECTS COMMISSIONS PAID AND CORRECTS PREVIOUS STATED ESTIMATED FIGURES.
D/A
$1,596,780.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDESSESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$3,073.00
Yes
$0.00
No
THE SALES COMMISSIONS REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$712,190.00
Yes
$0.00
No
THE SALES COMMISSION REPORTED INCLUDES AMOUNTS PAID BY PREDECESSOR FUND CLASSES PRIOR TO THE JANUARY 1, 2009 REORGANIZATION OF THE FUND.
D/A
$0.00
Yes
$0.00
Yes
THE ENTITIES LISTED IN ITEM 12 ABOVE ARE PAID DIRECTLY OR INDIRECTLY COMMISSIONS OR SIMILAR SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE FEE PAID TO THE GP, OR ITS AFFILIATE, FROM THE ASSETS UNDER MANAGEMENT AND/OR THE INCENTIVE ALLOCATION.
